Key Considerations: Comparing Mutual Funds and ETFs
January 21, 2020
The Securities and Exchange Commission (SEC) approved a new rule in September 2019 under the Investment Company Act of 1940 (’40 Act) allowing Exchange-Traded Funds (ETFs) to go-to-market more quickly without having to apply for specific exemptive relief. The new rule went into effect on December 23, 2019. Because of this new rule, advisers […]
Redefining Innovation: The Ongoing Creation of New Ideas That Generate Value for Clients
January 6, 2020
In our latest installment of #TALKtoUltimus, we interview Bill Hortz, Founder and Dean of the Institute for Innovation Development, and explore best practices for companies wanting to create a culture of innovation. Many investment firms and managers use the words innovation and tech-driven as a brand promise. While there are many ways to define […]